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AML QA Specialist

2 months ago

Toronto, Ontario, Canada Exchange Bank of Canada Full time
Role Purpose:

The AML QA & RCM Testing Manager will work closely with the Anti-Money Laundering and Anti-Terrorist Financing (collectively referred to as "AML") Compliance Team and the Regulatory Compliance Team to ensure adherence with the Proceeds of Crime (Money Laundering) and Terrorist Financing Act, OSFI guidelines, and other AML related requirements.

The incumbent will be responsible for testing, quality assurance, and assisting with monitoring and reporting on the quality of Exchange Bank of Canada's ("EBC's" or the "Bank's") AML processes and controls.

Essential Functions:
  • Develop, manage, and execute QA testing and monitoring plans that align with the Bank's AML Compliance Program.
  • Perform QA testing, monitoring, and reporting on AML processes and controls to ensure adherence with applicable Regulatory Requirements and are within the Bank's Board-approved Risk Appetite Framework.
  • Assist with monitoring regulatory and industry developments to ensure that the AML Compliance program remains current and adequate.
  • Assist the Senior AML Manager with developing, maintaining, and implementing internal/self-assessments of inherent risks specific to the Bank's business activities.
  • Assist with completing ongoing reviews and internal audits.
  • Assist the Senior Manager and CAMLO with the preparation of reports to the Bank's senior management respecting the adequacy of the business area's adherence to Regulatory Requirements and the Bank's overall RCM Framework.
  • Manage and maintain the Bank's RCM Framework, which includes the policy and procedures for ensuring regulatory compliance, including the AML/ATF program.
  • Manage and execute the annual Regulatory Risk Assessment together with the Senior Management of the Bank.
  • Assist the CCO and Senior Management (as applicable) in identifying, assessing, monitoring, and reporting on regulatory compliance risk, in accordance with the RCM Framework.
  • Assist the Senior Manager AML & RCM with compliance testing and the monitoring program regarding applicable regulatory requirements, including testing the functionality and efficiency of, and adherence to established policies and controls to mitigate Regulatory Compliance Risks.
  • Assist the Senior Management in reporting on the status of the Bank's compliance, new regulatory requirements, compliance issues, and action plans, and the Bank's compliance with the RCM Policy and RCM Framework.
  • Input and maintenance of risk rating, and results of the Monitoring and Testing program in the Bank's GRC tool, Ethidex, including deriving relevant Senior management and Board reporting data.
Required Education and Experience:
  • Bachelor's Degree or equivalent combination of education and/or experience.
  • Minimum of 5 years of AML and at least 2 years of RCM experience.
  • Minimum of 3 years with Manager-level responsibilities.
  • Prior experience in QA testing, Internal Audit, and/or regulatory reviews.
  • Analytical and has the ability to provide practical solutions and prioritize a diverse workload with multiple deadlines.
  • Highly flexible and detail-oriented with the ability to multi-task and change directions based on business demands.
  • Work smart by managing multiple priorities with strict deadlines.
  • Have a passion for ensuring the accuracy of record keeping and reporting to mitigate risk.
Qualifications & Skills:
  • Strong knowledge of all Regulatory Requirements and industry expectations.
  • Knowledgeable in Risk Management, Compliance, and Governance requirements and standards.
  • Understanding of the practical application of relevant AML Regulatory Requirements to Canadian Financial Institutions.
  • Experience building out testing plans and executing on QA accountabilities.
  • Previous experience working in AML, risk, compliance, or audit role.
  • Comfortable dealing with individuals at all levels of the Bank.
  • Excellent communication skills, both verbal and written.
  • Detailed-oriented with multitasking, analytical, time management, and organizational skills.
  • Willingness to continuously upgrade skills and stay informed of regulatory changes and best practices in the financial industry.
  • Proficiency with Microsoft Office products and various GRC tools.
  • Knowledge of the Payments is an asset.
Competencies:
  • Business Insight
  • Optimizes Work Processes
  • Decision Quality
  • Navigating Challenging Conversations & Conflict
  • Builds Effective Team
  • Functional Management Skills
Position Type/Expected Hours of Work:

This is a full-time position. Days of work are Monday through Friday. Evening hours and occasional weekend work may be necessary.

Benefits:
  • Family-oriented culture with an emphasis on understanding our employees' individual needs and growth opportunities.
  • Commuter Reimbursement
  • EBC will pay the toll, bus, or metro cost in and out of work.
  • Holiday Pay
  • Paid day off for 11 designated holidays throughout the year.
  • Paid Vacation Time Off
  • Paid Sick/Personal Time Off
  • Health/Dental/Vision Basic Life, AD/D, and Short/Long-Term Disability
  • RRSP
  • Company matches up to 5%